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Equality and Human Rights Screening Template
Guidance Notes
For advice and support on screening contact:
Equality Unit
Business Services Organisation
2 Franklin Street
Belfast BT2 8DQ
028 9536 3814 / 9536 3023
email:
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Section A:
Background Information
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Background Information
1.1 Equality/Good Relations: Section 75 of the NI Act 1998
Under Section 75 of the NI Act 1998 there is a legal requirement for Public Authorities to consider the possible impact of all their decisions on 9 specified equality categories and also how to promote equality of opportunity and good relations in all areas of our work.
We have to consider how to promote equality of opportunity in relation to the following nine equality categories:
· religious belief
· sexual orientation
· political opinion
· gender
· racial group
· disability (those with a disability and those without)
· age
· dependency (those with dependants and those without)
· marital status.
We also have to consider how to promote good relations in respect of 3 categories:
· religious belief
· political opinion
· racial group.
1.2 The Human Rights Act 1998
The Human Rights Act 1998 gives legal status in UK law to fundamental human rights set out in the European Convention on Human Rights (ECHR). The Act is about respecting and fostering the Convention Rights in everything we do. Public bodies now have a statutory duty to ensure that their decisions and actions are compatible with ECHR and to act in accordance with these rights. What is more, we need to be pro active in ensuring that we comply with our obligations and ensure that we develop a human rights culture. The Act gives people a right to redress in a UK court if they think that their human rights have been violated by a public authority.
1.3 Disability Discrimination Act (1995) (DDA)
Under the most recent amendment of the 1995 Disability Discrimination Act, that came into effect in January 2007, public authorities, in all areas of their work must now consider how to:
· promote positive attitudes towards disabled people; and
· encourage participation by disabled people in public life.
The Equality, Good Relations, Disability and Human Rights Screening process is one of the main tools for ensuring that we fulfil our legal obligations.
2.1 Equality and Good Relations
Screening is the first stage in assessing equality and good relations issues relating to developing any policy or area of work.
Screening helps to improve our services and policies or decisions. The Equality Commission in its Guidance states that the purpose is “to identify those policies that are likely to have a significant impact on equality of opportunity so that greatest resources can be devoted to these.” The screening tool helps us to systematically consider:
· who is impacted by what we do
· the needs and issues of the 9 equality categories;
· how we can better respond to those needs;
· how we can better promote equality of opportunity and good relations.
The screening process is to identify policies or decisions which may have a MAJOR IMPACT for people including those in any of the 9 specified equality categories.
If, during the screening process it is decided that a policy or decision does have major issues relating to equality, it is then necessary to consider carrying out a more detailed exercise called an Equality Impact Assessment (EQIA).
2.2 Disability Legislation: DDA
Under disability discrimination legislation, we should consider whether:
· the policy or decision will encourage disabled people to participate in public life or promote positive attitudes towards disabled people
· there is a better way of doing so.
2.3 Human Rights
In relation to human rights, the purpose of screening is to identify:
· whether the policy or decision is likely to affect a person’s human rights?
· what is the nature of any interference?
· what must be done to ensure that we comply with human rights obligations?
· beyond this, what can be done to actively promote human rights?
Using the screening template offers key benefits in the following respects:
· Under the legislation, the onus is on organisations to provide evidence that they have taken equality, good relations, disability and human rights considerations into account. It is vitally important, therefore, that we document this process. To this end, the template provides a paper trail.
· It ensures that the screening questions are addressed as required by the Equality Commission’s guidance.
· The template takes you through the screening process step-by-step and as such is designed to serve as a tool.
· Since the template asks you to consider information on a wide range of issues it also provides a mechanism to quality-assure your policy or decision and to manage any associated risks, specifically with respect to anti-discrimination legislation.
· Ultimately, it provides an opportunity to improve decision-making and practice.
A policy refers to ALL the ways that our organisation carries out its activities and makes decisions. We therefore need to screen decisions we take in our work. This includes for example planning decisions, service changes, strategies, policy development, guidelines, procedures and protocols etc.
Screening can be made simpler and more useful if it is introduced at an early stage when developing or reviewing a policy or decision. Use the screening template to identify:
· what equality or good relations, and human rights issues there might be?
· any gaps in information?
· how you might address those gaps?
· who it would be useful for you to talk to?
· how these considerations can be incorporated into the policy or decision development process?
· whether or not you need to do a full Equality Impact Assessment (EQIA)?
· how you can make sure that this policy or decision encourages disabled people to participate in public life or promote positive attitudes towards disabled people?
The person taking the lead role is the policy or decision-maker, that is, the individual who can make changes to the policy or decision.
However screening is not an academic or theoretical exercise. You need to develop an in-depth knowledge of the implications of the policy or decision. For this, you will need others to come on board. Screening should not be carried out by one person. Include other team members, those who implement the policy, staff members from other relevant work areas. It is good practice to include key stakeholders in the screening.
Your Equality Unit staff will be able to provide you with advice and support throughout the screening process – but they won’t carry out the screening itself. Screening is about mainstreaming equality, good relations and human rights.
It is helpful to use existing team or project meetings to discuss the screening exercise. Include Equality and Human Rights screening as an agenda item.
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Section B:
The Screening Template
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We have given you a brief introduction to the legislation and the ‘why’ ‘what’ ‘when’, and ‘who’ in relation to screening. In the following, we turn our attention to the ‘how’. The remainder of the guidance takes you through the screening form step by step. For each question in the form you will find further guidance and examples to illustrate the particular challenges that might arise and how you may wish to deal with them.
1. INFORMATION ABOUT THE POLICY OR DECISION
1.1 Title of policy or decision: Give the policy or decision a title that accurately describes its focus.
1.2 Description of policy or decision: Clearly state the aims. What are you trying to achieve? How will you do so? Key constraints could be legislative (for example, health and safety regulations) or financial. Avoid any jargon. Keep it short and simple.
1.3 Who are the main stakeholders?
Stakeholders can include health and social care staff, actual or potential service users, other public sector organisations, voluntary and community groups (including Section 75 categories), trade unions, professional organisations or private sector organisations.
Specify the key agencies, organisations, groups or people who may be affected by the policy or decision.
Consider whether staff may also be affected.
1.4 Other policies or decisions with a bearing on this policy or decision: Specify if the policy or decision relates to a regional policy or decision by another body, whether the DHSSPS, HSC Board, Trusts or Agencies. There can be a wide range of policies that are in some way linked with others. Specify only key related policies that have a direct bearing on the policy or decision. For example developing services for people with learning disability at a Trust level may link in with Commissioning policies from the HSC Board as well as Departmental strategies.
These may already have been screened and the process and outcome will be relevant. Make sure you obtain and use this information. If you are developing the policy according to statutes or guidance from elsewhere, make this clear – do not be seen to have responsibility for something, which “belongs” to another body.
2. CONSIDERATION OF EQUALITY AND GOOD RELATIONS ISSUES AND EVIDENCE USED.
Answering the questions
Questions 2.1, 2.2 and 2.3 are the basis on which you make your decision to screen the policy or decision in or out for a full Equality Impact Assessment (EQIA). They ask for EVIDENCE of the sources used so it is important to include sources and dates.
There are many kinds of evidence but the distinction is usually between quantitative evidence and qualitative evidence. In some cases evidence may be identified from grey literature.
2.1. Data Gathering
What information did you use to inform this equality screening? For example previous consultations, statistics, research, Equality Impact Assessments (EQIAs), complaints. Provide details of how you involved stakeholders, views of colleagues, service users, staff side or other stakeholders.
Quantitative evidence, as the name suggests, is to do with measurable quantities and numbers. Within health and social care this type of evidence relating to inequalities is usually about, for example:
· referrals;
· take up, or participation in services;
· relative levels of health or wellbeing;
· registrations;
· life expectancy and effectiveness of services; or,
· workforce records.
Quantitative evidence usually comes from administrative systems including computerised and manual systems. It can also be based on surveys and Government data sets. It can also include results from opinion and attitude surveys of various kinds. For example,
· check any statistical information available e.g. NISRA’s equality website www.equality.nisra.gov.uk; Northern Ireland Neighbourhood Information Service www.ninis.nisra.gov.uk; Census of Population data sets at: www.nisranew.nisra.gov.uk/census/start.html
· look at literature reviews available e.g. on access to health and social services in Northern Ireland www.dhsspsni.gov.uk/index/hss/equality/eq-literature-review.htm
· check other research reports or other consultations, for example, Northern Ireland Survey of People with Activity Limitations and Disabilities www.equality.nisra.gov.uk/archive/Publications/Disability/Household%20Prevalence%20Report.DOC
Qualitative evidence is to do with people’s experiences of services and their views, for example:
· experience and knowledge of relevant staff;
· information from previous consultations;
· internal audits, monitoring systems;
· complaints; grievances
· literature reviews;
· inspection reports;
· existing research reports;
· interviews and focus groups with service users or staff; or,
· screening or EQIA’s completed by DHSSPS, Boards, Trusts, Agencies including the responses received to these.
Grey literature
Note the term grey literature. This is literature which may also be relevant to the screening. It is information that is not published. It can include, for example, working papers, results from workshops, technical reports, press coverage or conference proceedings.
It is acknowledged that there is more available evidence for some of the equality categories than for others so if having explored the available evidence and you still do not know what the implications are it would indicate that you need to gather additional information.
The Equality Commission’s guidance 2010 is clear “no evidence does not equate to no impact”. (Section 75 of the Northern Ireland Act: A Guide for Public Authorities, April 2010).
Questions 2.2 2.3, 2.4 and 2.5 are key questions in the screening process and they are based on the quantitative and qualitative information and evidence that you have sourced.
2.2 Quantitative Data
Who is affected by the policy or decision? Please provide a statistical profile. Note if the policy affects both staff and service users, please provide a profile for both. Also give consideration to multiple identities.
As a starting point it is important to collect information regarding the identity of those who are impacted by the policy or decision.
Are there any issues or problems? For example, a lower uptake that needs to addressed or greater involvement of a particular group?
Having looked at the data, what conclusions can you draw in relation to the representation of one group vis-à-vis another?
But the comparison doesn’t just stop there. You also need to look beyond to understand whether the uptake or participation you have noted reflects what is to be expected.
So the key question is: does the participation or make up tell us anything about potential equality issues? Does it reflect the workforce or the local community make up? Does it reflect the target group or the nature of the service? If not, what are the issues that need to be addressed?